New York Capital Markets & Corporate Compliance Associate

New York Capital Markets & Corporate Compliance Associate
Location: New York City, NY (up to 40% remote)
Experience: 3+ Years PQE | Capital Markets & Corporate Compliance Focus

An elite Am Law 100 firm is seeking a mid-level Capital Markets & Corporate Compliance Associate (3+ years PQE) to join its prestigious New York office. This is an opportunity to work on sophisticated securities and corporate matters, including IPOs, PIPEs, SPACs, and cross-border compliance, with a clear path for professional growth.

About the Team
Join a top-tier capital markets and corporate compliance group advising domestic and international clients, including China-based companies, on a broad range of complex securities matters. The team values collaboration, mentorship, and a dynamic work environment that encourages career development.

Key Responsibilities

  • Lead and draft SEC registration statements (S-1, F-1, S-3, F-3) and periodic reports (10-K, 10-Q, 8-K, 20-F, 6-K)

  • Prepare and review proxy statements and materials for shareholder meetings

  • Advise clients on compliance with ’33 and ’34 Act regulations, NYSE, and Nasdaq listing rules

  • Manage capital markets transactions including IPOs, PIPEs, SPACs, and De-SPACs

  • Draft and review corporate governance documents including bylaws, resolutions, operating agreements, and underwriting agreements

  • Counsel clients on corporate actions such as ticker changes and reverse stock splits

  • Collaborate with domestic and international teams, particularly on matters involving Chinese companies and law firms

Who You Are

  • 3+ years’ experience in capital markets, securities law, and corporate compliance

  • Experienced with SEC filings and reporting requirements

  • Strong understanding of domestic and cross-border securities transactions

  • JD from an ABA-accredited law school and admitted to the New York Bar (in good standing)

  • Excellent drafting, analytical, and communication skills

Compensation
Salary Range: $325,000 – $375,000 (DOE)
Benefits: Comprehensive health coverage, 401(k), paid parental leave, flexible PTO, disability insurance, student loan refinancing, wellness programs, and more

Interested?
Contact Freddie at freddie@thepeopleof.co.uk to express interest or learn more.

#TPOPS

Salary:
$325-375K

Location:
New York

Discipline:
Corporate

Job Code:
New York Capital Markets & Corporate Compliance Associate

Apply now